SEC Form 4 · accession 0001644999-17-000005
Babcock & Wilcox Enterprises, Inc. · BW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J. Andre Hall
Officer — SVP & General Counsel
Period of report
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 4:34 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001630805
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 1, 2017 | M | 1,151 | $0.00 | A | 4,900 | D | |
| Common Stock | Mar 1, 2017 | F | 440 | $10.33 | D | 4,460 | D | |
| Common Stock | Mar 2, 2017 | M | 959 | $0.00 | A | 5,419 | D | |
| Common Stock | Mar 2, 2017 | F | 366 | $10.58 | D | 5,053 | D | |
| Common StockF1 | holding | — | — | — | 153 | I | 401k Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2 | $0.00 | Mar 1, 2017 | M | 1,151 | D | — | Mar 1, 2019 | Common Stock | 1,151 | 2,302 | D |
| Restricted Stock UnitsF3 | $0.00 | Mar 2, 2017 | M | 959 | D | — | Mar 2, 2018 | Common Stock | 959 | 959 | D |
Explanation of responses
- F1Based on number of units held in the BW Thrift Plan and the fair market value of BW common stock as of March 1, 2017.
- F2RSUs vest in three equal annual installments beginning March 1, 2017.
- F3RSUs vest in three equal annual installments beginning March 2, 2016.